Compliance Assistant Manager / Manager - Regulatory Licensing

The Job:

• Responsible for the licensing of intermediaries and individual licensees, handling of their fit and proper issues;
• Working in close cooperation with other team heads to ensure that the functions of the Licensing Department are performed in a consistent, efficient and transparent manner;
• Ensuring that matters with potential regulatory issues are promptly identified and raised to an appropriate level for consideration;
• Identifying areas in relation to which policy or reform initiatives are required and assisting in the formulation and implementation of appropriate policies or reforms related to Licensing;
• Providing management solutions to enhance our operational efficiency, effectiveness and transparency; and
• Cultivating and maintaining constructive relationships with market participants and colleagues within the Commission.

Requirements:

We support local hire with solid relevant working experience in HK.

• Bachelor degree or above;
• At least 3 years of working experience in SFC licensing advisory and application within banking industry;
• Previous experience working with banks, brokerages, stock exchanges, regulators or fund management companies are welcome to apply;
• Pragmatic, proactive and diligent with strong determination to understand thoroughly about contentious issues and the ability to resolve them accordingly;
• Good communication, interpersonal and influencing skills.